SEC Form 4 · accession 0001104659-17-031593
Smart & Final Stores, Inc. · SFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugene M. Smith
Officer — VP and Treasurer
Period of report
May 8, 2017
Accepted (ET)
May 10, 2017 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563407
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock, par value $0.001F1 | May 8, 2017 | A | 2,713 | $0.00 | A | 35,449 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $12.90 | May 8, 2017 | A | 6,782 | A | — | May 8, 2027 | Common Stock | 6,782 | 6,782 | D |
Explanation of responses
- F1Represents a grant of restricted stock.
- F2The option was granted effective May 8, 2017 and vests in four equal installments on May 18, 2018, 2019, 2020 and 2021.